James Alan Hooks
Chief Compliance OfficerMariner Independent Advisor Network, LLCCRD 1601278
About James Alan Hooks
James Alan Hooks is listed as Chief Compliance Officer at Mariner Independent Advisor Network, LLC in Overland Park, KS. Form ADV reports a beneficial ownership band of Under 5%. James Alan Hooks is associated with 2 registered advisers.
Reported ownership
Owns Under 5% of Mariner Independent Advisor Network, LLC
Ownership band reported on Form ADV Schedule A
Frequently asked questions
Where does James Alan Hooks work?
James Alan Hooks is listed as Chief Compliance Officer at Mariner Independent Advisor Network, LLC on SEC Form ADV.
How much of Mariner Independent Advisor Network, LLC does James Alan Hooks own?
Form ADV reports a beneficial ownership band of Under 5%.
Mariner Independent Advisor Network, LLC
| Title | Chief Compliance Officer |
| Ownership | Under 5% |
| Control person | Yes |
| Since | 2026 |
Private Advisor Group, LLC
| Title | Chief Compliance Officer, Managing Director |
| Ownership | Under 5% |
| Control person | Yes |
| Since | 2019 |